The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABERDEEN GTR CHINA FD INC | COM | 003031101 | 2,399 | 181,627 | SH | DFND | 1,2 | 181,627 | 0 | 0 | |
ABERDEEN SINGAPORE FD INC | COM | 003244100 | 1,358 | 102,441 | SH | DFND | 1,2 | 102,441 | 0 | 0 | |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 463 | 4,150 | SH | DFND | 1,2 | 4,150 | 0 | 0 | |
ANADARKO PETE CORP | UNIT 99/99/9999 | 032511404 | 3,725 | 125,000 | SH | DFND | 1,2 | 125,000 | 0 | 0 | |
ATLANTIC ACQUISITION CORP | COM | 048206106 | 4,748 | 478,600 | SH | DFND | 1,2 | 478,600 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 23,437 | 781,500 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
BIG ROCK PARTNERS ACQUISI CO | COM | 089482103 | 3,747 | 381,400 | SH | DFND | 1,2 | 381,400 | 0 | 0 | |
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 409 | 37,934 | SH | DFND | 1,2 | 37,934 | 0 | 0 | |
CALAMOS STRATEGIC TOTL RETN | COM SH BEN INT | 128125101 | 329 | 27,807 | SH | DFND | 1,2 | 27,807 | 0 | 0 | |
CASTLE BRANDS INC | COM | 148435100 | 54 | 43,557 | SH | DFND | 1,2 | 43,557 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 1,014 | 11,372 | SH | DFND | 1,2 | 11,372 | 0 | 0 | |
CHEGG INC | COM | 163092109 | 1,496 | 72,400 | SH | DFND | 1,2 | 72,400 | 0 | 0 | |
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 34 | 3,000,000 | SH | DFND | 1,2 | 3,000,000 | 0 | 0 | |
CONNECTICUT WTR SVC INC | COM | 207797101 | 228 | 3,763 | SH | DFND | 1,2 | 3,763 | 0 | 0 | |
CUSHING RENAISSANCE FD | COM | 231647108 | 992 | 63,088 | SH | DFND | 1,2 | 63,088 | 0 | 0 | |
DREYFUS STRATEGIC MUNS INC | COM | 261932107 | 254 | 32,964 | SH | DFND | 1,2 | 32,964 | 0 | 0 | |
ELLINGTON RESIDENTIAL MTG RE | COM SHS BEN INT | 288578107 | 160 | 14,620 | SH | DFND | 1,2 | 14,620 | 0 | 0 | |
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 9,405 | 306,667 | SH | DFND | 1,2 | 306,667 | 0 | 0 | |
FLAHERTY&CRMN PFD SEC INCOM | COM | 338478100 | 204 | 10,717 | SH | DFND | 1,2 | 10,717 | 0 | 0 | |
GABELLI EQUITY TR INC | COM | 362397101 | 323 | 52,700 | SH | DFND | 1,2 | 52,700 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 179 | 13,251 | SH | DFND | 1,2 | 13,251 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 762 | 10,101 | SH | DFND | 1,2 | 10,101 | 0 | 0 | |
GILDAN ACTIVEWEAR INC | COM | 375916103 | 339 | 11,740 | SH | DFND | 1,2 | 11,740 | 0 | 0 | |
GLOBAL NET LEASE INC | COM NEW | 379378201 | 178 | 10,541 | SH | DFND | 1,2 | 10,541 | 0 | 0 | |
GLU MOBILE INC | COM | 379890106 | 90 | 24,004 | SH | DFND | 1,2 | 24,004 | 0 | 0 | |
GORDON POINTE ACQUISITION CO | COM CLASS A | 382788107 | 3,646 | 375,500 | SH | DFND | 1,2 | 375,500 | 0 | 0 | |
GRAINGER W W INC | COM | 384802104 | 210 | 743 | SH | DFND | 1,2 | 743 | 0 | 0 | |
GUESS INC | COM | 401617105 | 226 | 10,899 | SH | DFND | 1,2 | 10,899 | 0 | 0 | |
HANCOCK JOHN FINL OPPTYS FD | SH BEN INT NEW | 409735206 | 457 | 11,927 | SH | DFND | 1,2 | 11,927 | 0 | 0 | |
HAYMAKER ACQUISITION CORP | COM CLASS A | 420870107 | 6,243 | 653,700 | SH | DFND | 1,2 | 653,700 | 0 | 0 | |
HOLOGIC INC | COM | 436440101 | 4,857 | 130,000 | SH | DFND | 1,2 | 130,000 | 0 | 0 | |
INDIA FD INC | COM | 454089103 | 465 | 18,882 | SH | DFND | 1,2 | 18,882 | 0 | 0 | |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 793 | 17,983 | SH | DFND | 1,2 | 17,983 | 0 | 0 | |
ISHARES INC | MSCI STH KOR ETF | 464286772 | 22,635 | 300,000 | SH | Put | DFND | 1 | 0 | 0 | 0 |
ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 20,638 | 200,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
LAUDER ESTEE COS INC | CL A | 518439104 | 202 | 1,352 | SH | DFND | 1,2 | 1,352 | 0 | 0 | |
LEGACY ACQUISITION CORP | COM CL A | 524643103 | 4,484 | 467,600 | SH | DFND | 1,2 | 467,600 | 0 | 0 | |
LIBERTY ALL STAR EQUITY FD | SH BEN INT | 530158104 | 1,172 | 191,242 | SH | DFND | 1,2 | 191,242 | 0 | 0 | |
MICROVISION INC DEL | COM NEW | 594960304 | 27 | 23,520 | SH | DFND | 1,2 | 23,520 | 0 | 0 | |
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 493 | 19,781 | SH | DFND | 1,2 | 19,781 | 0 | 0 | |
MORGAN STANLEY EM MKTS DM DE | COM | 617477104 | 204 | 26,065 | SH | DFND | 1,2 | 26,065 | 0 | 0 | |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 2,400 | 250,000 | SH | DFND | 1,2 | 250,000 | 0 | 0 | |
NEW SR INVT GROUP INC | COM | 648691103 | 171 | 20,916 | SH | DFND | 1,2 | 20,916 | 0 | 0 | |
NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 178 | 30,030 | SH | DFND | 1,2 | 30,030 | 0 | 0 | |
NOVAVAX INC | COM | 670002104 | 48 | 23,062 | SH | DFND | 1,2 | 23,062 | 0 | 0 | |
NOVO-NORDISK A S | ADR | 670100205 | 375 | 7,616 | SH | DFND | 1,2 | 7,616 | 0 | 0 | |
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 407 | 30,063 | SH | DFND | 1,2 | 30,063 | 0 | 0 | |
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 234 | 19,274 | SH | DFND | 1,2 | 19,274 | 0 | 0 | |
NUVEEN MUN HIGH INCOME OPP F | COM | 670682103 | 654 | 52,297 | SH | DFND | 1,2 | 52,297 | 0 | 0 | |
OSPREY ENERGY ACQUISITION CO | CL A COM | 688397108 | 10,907 | 1,133,771 | SH | DFND | 1,2 | 1,133,771 | 0 | 0 | |
PIONEER MUN HIGH INCOME ADV | COM | 723762100 | 116 | 10,834 | SH | DFND | 1,2 | 10,834 | 0 | 0 | |
PIONEER MUN HIGH INCOME TR | COM SHS | 723763108 | 176 | 15,607 | SH | DFND | 1,2 | 15,607 | 0 | 0 | |
PUTNAM MANAGED MUN INCOM TR | COM | 746823103 | 117 | 16,432 | SH | DFND | 1,2 | 16,432 | 0 | 0 | |
R1 RCM INC | COM | 749397105 | 116 | 16,275 | SH | DFND | 1,2 | 16,275 | 0 | 0 | |
RADIUS HEALTH INC | COM NEW | 750469207 | 469 | 13,046 | SH | DFND | 1,2 | 13,046 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,636 | 57,963 | SH | DFND | 1,2 | 57,963 | 0 | 0 | |
RED HAT INC | COM | 756577102 | 757 | 5,064 | SH | DFND | 1,2 | 5,064 | 0 | 0 | |
ROYAL BK SCOTLAND GROUP PLC | SP ADR PREF S | 780097739 | 511 | 19,963 | SH | DFND | 1,2 | 19,963 | 0 | 0 | |
ROYCE VALUE TR INC | COM | 780910105 | 467 | 30,000 | SH | DFND | 1,2 | 30,000 | 0 | 0 | |
SEACHANGE INTL INC | COM | 811699107 | 47 | 17,473 | SH | DFND | 1,2 | 17,473 | 0 | 0 | |
SEABRIDGE GOLD INC | COM | 811916105 | 2,170 | 200,000 | SH | DFND | 1,2 | 200,000 | 0 | 0 | |
TCF FINL CORP | *W EXP 11/14/201 | 872275128 | 1,535 | 262,337 | SH | DFND | 1,2 | 262,337 | 0 | 0 | |
TEMPLETON EMERGING MKTS FD I | COM | 880191101 | 197 | 12,100 | SH | DFND | 1,2 | 12,100 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 29,053 | 1,700,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 1,470 | 86,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 13,686 | 144,700 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
VOYA FINL INC | COM | 929089100 | 267 | 5,282 | SH | DFND | 1,2 | 5,282 | 0 | 0 | |
WELLS FARGO CO NEW | COM | 949746101 | 472 | 9,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
VERISIGN INC | COM | 92343E102 | 10,670 | 90,000 | SH | Call | DFND | 1,2 | 0 | 0 | 0 |
VERISIGN INC | COM | 92343E102 | 19,276 | 162,588 | SH | DFND | 1,2 | 162,588 | 0 | 0 | |
BLACKROCK MUNIYIELD QLTY FD | COM | 09254E103 | 155 | 12,226 | SH | DFND | 1,2 | 12,226 | 0 | 0 | |
SALLY BEAUTY HLDGS INC | COM | 79546E104 | 166 | 10,103 | SH | DFND | 1,2 | 10,103 | 0 | 0 | |
PENSARE ACQUISITION CORP | COM | 70957E105 | 6,893 | 709,177 | SH | DFND | 1,2 | 709,177 | 0 | 0 | |
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 206 | 13,717 | SH | DFND | 1,2 | 13,717 | 0 | 0 | |
ABERDEEN ISRAEL FUND INC | COM | 00301L109 | 1,193 | 61,235 | SH | DFND | 1,2 | 61,235 | 0 | 0 | |
ABERDEEN EMERGING MKTS SMALL | COM | 00301T102 | 2,319 | 156,678 | SH | DFND | 1,2 | 156,678 | 0 | 0 | |
ABERDEEN CHILE FD INC | COM | 00301W105 | 1,205 | 133,326 | SH | DFND | 1,2 | 133,326 | 0 | 0 | |
ABERDEEN INDONESIA FD INC | COM | 00305P106 | 1,078 | 147,856 | SH | DFND | 1,2 | 147,856 | 0 | 0 | |
ABERDEEN LATIN AMER EQTY FD | COM | 00306K106 | 3,062 | 111,848 | SH | DFND | 1,2 | 111,848 | 0 | 0 | |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 85 | 14,596 | SH | DFND | 1,2 | 14,596 | 0 | 0 | |
AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 610 | 7,462 | SH | DFND | 1,2 | 7,462 | 0 | 0 | |
AGROFRESH SOLUTIONS | COM | 00856G109 | 77 | 10,514 | SH | DFND | 1,2 | 10,514 | 0 | 0 | |
ALLIANCEBERNSTEIN GBL HGH IN | COM | 01879R106 | 494 | 41,583 | SH | DFND | 1,2 | 41,583 | 0 | 0 | |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 293 | 2,460 | SH | DFND | 1,2 | 2,460 | 0 | 0 | |
ALPINE GLOBAL PREMIER PPTYS | COM SBI | 02083A103 | 182 | 29,245 | SH | DFND | 1,2 | 29,245 | 0 | 0 | |
AMPIO PHARMACEUTICALS INC | COM | 03209T109 | 129 | 38,026 | SH | DFND | 1,2 | 38,026 | 0 | 0 | |
ARROWHEAD PHARMACEUTICALS IN | COM | 04280A100 | 115 | 16,017 | SH | DFND | 1,2 | 16,017 | 0 | 0 | |
ASIA TIGERS FD INC | COM | 04516T105 | 573 | 45,225 | SH | DFND | 1,2 | 45,225 | 0 | 0 | |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 2,038 | 190,480 | SH | DFND | 1,2 | 190,480 | 0 | 0 | |
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 101 | 44,689 | SH | DFND | 1,2 | 44,689 | 0 | 0 | |
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 7,859 | 811,070 | SH | DFND | 1,2 | 811,070 | 0 | 0 | |
BLACKHAWK NETWORK HLDGS INC | NOTE 1.500% 1/1 | 09238EAB0 | 36,163 | 32,730,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BLACKROCK ENHANCED EQT DIV T | COM | 09251A104 | 1,066 | 122,089 | SH | DFND | 1,2 | 122,089 | 0 | 0 | |
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 198 | 15,023 | SH | DFND | 1,2 | 15,023 | 0 | 0 | |
BLACKSTONE MTG TR INC | NOTE 4.750% 3/1 | 09257WAC4 | 984 | 1,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
BRISTOW GROUP INC | NOTE 4.500% 6/0 | 110394AF0 | 1,813 | 1,650,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CNX RESOURCES CORPORATION | COM | 12653C108 | 178 | 11,547 | SH | DFND | 1,2 | 11,547 | 0 | 0 | |
CYS INVTS INC | COM | 12673A108 | 176 | 26,208 | SH | DFND | 1,2 | 26,208 | 0 | 0 | |
CAPSTEAD MTG CORP | COM NO PAR | 14067E506 | 1,581 | 182,742 | SH | DFND | 1,2 | 182,742 | 0 | 0 | |
CHESAPEAKE ENERGY CORP | NOTE 2.250%12/1 | 165167CB1 | 64 | 70,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CHIMERA INVT CORP | COM NEW | 16934Q208 | 176 | 10,121 | SH | DFND | 1,2 | 10,121 | 0 | 0 | |
CIENA CORP | DEBT 4.000%12/1 | 171779AK7 | 13,736 | 9,750,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
CLEARBRIDGE ENERGY MLP OPP F | COM | 18469P100 | 113 | 11,457 | SH | DFND | 1,2 | 11,457 | 0 | 0 | |
CLOUGH GLOBAL EQUITY FD | COM | 18914C100 | 150 | 11,431 | SH | DFND | 1,2 | 11,431 | 0 | 0 | |
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 307 | 14,332 | SH | DFND | 1,2 | 14,332 | 0 | 0 | |
COLONY NORTHSTAR CR REAL EST | COM CL A | 19626A101 | 1,895 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 48,903 | 23,150,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
DENNYS CORP | COM | 24869P104 | 178 | 11,516 | SH | DFND | 1,2 | 11,516 | 0 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 77 | 38,345 | SH | DFND | 1,2 | 38,345 | 0 | 0 | |
DRAPER OAKWOOD TECHNOLOGY | COM CL A | 26146L103 | 1,100 | 111,200 | SH | DFND | 1,2 | 111,200 | 0 | 0 | |
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 255 | 22,046 | SH | DFND | 1,2 | 22,046 | 0 | 0 | |
ENDOCYTE INC | COM | 29269A102 | 230 | 25,349 | SH | DFND | 1,2 | 25,349 | 0 | 0 | |
ENPHASE ENERGY INC | COM | 29355A107 | 174 | 37,976 | SH | DFND | 1,2 | 37,976 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 393 | 5,427 | SH | DFND | 1,2 | 5,427 | 0 | 0 | |
FEDERAL STR ACQUISITION CORP | CL A | 31421V107 | 4,786 | 493,952 | SH | DFND | 1,2 | 493,952 | 0 | 0 | |
FRONTIER COMMUNICATIONS CORP | PFD CONV SER-A | 35906A207 | 14,871 | 1,294,293 | SH | DFND | 1,2 | 1,294,293 | 0 | 0 | |
FRONTIER COMMUNICATIONS CORP | COM NEW | 35906A306 | 2,502 | 337,200 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
GSV CAP CORP | NOTE 4.750% 3/2 | 36191JAC5 | 1,504 | 1,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
GABELLI DIVD & INCOME TR | COM | 36242H104 | 413 | 18,699 | SH | DFND | 1,2 | 18,699 | 0 | 0 | |
GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 104 | 11,000 | SH | DFND | 1,2 | 11,000 | 0 | 0 | |
GANNETT CO INC | COM | 36473H104 | 161 | 16,181 | SH | DFND | 1,2 | 16,181 | 0 | 0 | |
GIGCAPITAL INC | COM | 37518N106 | 9,012 | 922,420 | SH | DFND | 1,2 | 922,420 | 0 | 0 | |
GRANITE PT MTG TR INC | NOTE 5.625%12/0 | 38741LAB3 | 6,385 | 6,500,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
GUGGENHEIM ENHNCD EQTY INCM | COM | 40167B100 | 348 | 41,781 | SH | DFND | 1,2 | 41,781 | 0 | 0 | |
GUIDEWIRE SOFTWARE INC | COM | 40171V100 | 5,081 | 62,857 | SH | DFND | 1,2 | 62,857 | 0 | 0 | |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 408 | 20,814 | SH | DFND | 1,2 | 20,814 | 0 | 0 | |
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 11,201 | 1,131,401 | SH | DFND | 1,2 | 1,131,401 | 0 | 0 | |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 1,465 | 620,712 | SH | DFND | 1,2 | 620,712 | 0 | 0 | |
I AM CAP ACQUISITION CO | COM | 45074Q108 | 748 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
IDERA PHARMACEUTICALS INC | COM NEW | 45168K306 | 85 | 46,408 | SH | DFND | 1,2 | 46,408 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 854 | 10,249 | SH | DFND | 1,2 | 10,249 | 0 | 0 | |
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 15,586 | 1,588,758 | SH | DFND | 1,2 | 1,588,758 | 0 | 0 | |
INTREPID POTASH INC | COM | 46121Y102 | 89 | 24,327 | SH | DFND | 1,2 | 24,327 | 0 | 0 | |
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 175 | 10,697 | SH | DFND | 1,2 | 10,697 | 0 | 0 | |
INVESCO MUN TR | COM | 46131J103 | 148 | 12,658 | SH | DFND | 1,2 | 12,658 | 0 | 0 | |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 228 | 19,151 | SH | DFND | 1,2 | 19,151 | 0 | 0 | |
JAPAN SMALLER CAPTLZTN FD IN | COM | 47109U104 | 169 | 13,735 | SH | DFND | 1,2 | 13,735 | 0 | 0 | |
JENSYN ACQUISITION CORP | COM | 47632B102 | 2,662 | 253,498 | SH | DFND | 1,2 | 253,498 | 0 | 0 | |
JUST ENERGY GROUP INC | COM | 48213W101 | 345 | 78,162 | SH | DFND | 1,2 | 78,162 | 0 | 0 | |
KBL MERGER CORP IV | COM | 48242A104 | 8,982 | 911,838 | SH | DFND | 1,2 | 911,838 | 0 | 0 | |
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 5,645 | 576,647 | SH | DFND | 1,2 | 576,647 | 0 | 0 | |
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 192 | 19,000 | SH | DFND | 1,2 | 19,000 | 0 | 0 | |
KEARNY FINL CORP MD | COM | 48716P108 | 168 | 12,957 | SH | DFND | 1,2 | 12,957 | 0 | 0 | |
LAM RESEARCH CORP | NOTE 1.250% 5/1 | 512807AL2 | 54,154 | 16,353,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LANDCADIA HLDGS INC | CL A | 51476W107 | 7,212 | 718,334 | SH | DFND | 1,2 | 718,334 | 0 | 0 | |
LAYNE CHRISTENSEN CO | NOTE 8.000% 5/0 | 521050AD6 | 13,301 | 10,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 30,396 | 51,143,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
LIBERTY MEDIA CORP DELAWARE | NOTE 1.375%10/1 | 531229AB8 | 57,222 | 49,817,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
MGE ENERGY INC | COM | 55277P104 | 202 | 3,600 | SH | DFND | 1,2 | 3,600 | 0 | 0 | |
MTECH ACQUISITION CORP | COM CLASS A | 55378W107 | 3,070 | 320,450 | SH | DFND | 1,2 | 320,450 | 0 | 0 | |
MTECH ACQUISITION CORP | *W EXP 08/01/202 | 55378W115 | 62 | 100,000 | SH | DFND | 1,2 | 100,000 | 0 | 0 | |
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 2,773 | 283,000 | SH | DFND | 1,2 | 283,000 | 0 | 0 | |
METHANEX CORP | COM | 59151K108 | 340 | 5,613 | SH | DFND | 1,2 | 5,613 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 4,940 | 497,500 | SH | DFND | 1,2 | 497,500 | 0 | 0 | |
MORGAN STANLEY INDIA INVS FD | COM | 61745C105 | 311 | 10,238 | SH | DFND | 1,2 | 10,238 | 0 | 0 | |
NAVIENT CORPORATION | COM | 63938C108 | 171 | 13,054 | SH | DFND | 1,2 | 13,054 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 652 | 7,865 | SH | DFND | 1,2 | 7,865 | 0 | 0 | |
NEW MEDIA INVT GROUP INC | COM | 64704V106 | 181 | 10,586 | SH | DFND | 1,2 | 10,586 | 0 | 0 | |
NOVELLUS SYS INC | NOTE 2.625% 5/1 | 670008AD3 | 2,064 | 337,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 860 | 65,433 | SH | DFND | 1,2 | 65,433 | 0 | 0 | |
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 875 | 65,335 | SH | DFND | 1,2 | 65,335 | 0 | 0 | |
NUVEEN NEW JERSEY QULT MUN F | COM | 67069Y102 | 142 | 10,860 | SH | DFND | 1,2 | 10,860 | 0 | 0 | |
OPES ACQUISITION CORP | COM | 68373P100 | 388 | 40,000 | SH | DFND | 1,2 | 40,000 | 0 | 0 | |
OPES ACQUISITION CORP | UNIT 03/07/2023 | 68373P209 | 3,518 | 350,000 | SH | DFND | 1,2 | 350,000 | 0 | 0 | |
PLUG POWER INC | COM NEW | 72919P202 | 91 | 48,050 | SH | DFND | 1,2 | 48,050 | 0 | 0 | |
QUICKLOGIC CORP | COM | 74837P108 | 18 | 11,603 | SH | DFND | 1,2 | 11,603 | 0 | 0 | |
RLJ LODGING TR | CUM CONV PFD A | 74965L200 | 19,795 | 779,959 | SH | DFND | 1,2 | 779,959 | 0 | 0 | |
RESOLUTE FST PRODS INC | COM | 76117W109 | 92 | 11,036 | SH | DFND | 1,2 | 11,036 | 0 | 0 | |
RESOURCE CAP CORP | NOTE 4.500% 8/1 | 76120WAC8 | 22,388 | 23,000,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
RETAIL PPTYS AMER INC | CL A | 76131V202 | 163 | 13,994 | SH | DFND | 1,2 | 13,994 | 0 | 0 | |
SABAN CAP ACQUISITION CORP | COM CL A | 78516C106 | 294 | 29,581 | SH | DFND | 1,2 | 29,581 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 422 | 2,620 | SH | DFND | 1,2 | 2,620 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 58,150 | 500,000 | SH | Put | DFND | 1,2 | 0 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 83,765 | 720,248 | SH | DFND | 1,2 | 720,248 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 2,049 | 30,400 | SH | DFND | 1 | 30,400 | 0 | 0 | |
SERVICENOW INC | COM | 81762P102 | 6,142 | 37,124 | SH | DFND | 1,2 | 37,124 | 0 | 0 | |
SERVICENOW INC | NOTE 11/0 | 81762PAB8 | 21,249 | 9,399,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SHUTTERFLY INC | NOTE 0.250% 5/1 | 82568PAB2 | 41,950 | 33,173,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
SIMPLY GOOD FOODS CO | *W EXP 07/07/202 | 82900L110 | 195 | 55,681 | SH | DFND | 1,2 | 55,681 | 0 | 0 | |
SPIRIT RLTY CAP INC NEW | COM | 84860W102 | 173 | 22,319 | SH | DFND | 1,2 | 22,319 | 0 | 0 | |
SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 538 | 50,000 | SH | DFND | 1,2 | 50,000 | 0 | 0 | |
SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | 3,954 | 654,675 | SH | DFND | 1,2 | 654,675 | 0 | 0 | |
SPROTT PHYSICAL PLAT PALLAD | UNIT | 85207Q104 | 540 | 63,340 | SH | DFND | 1,2 | 63,340 | 0 | 0 | |
SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 126,481 | 9,567,429 | SH | DFND | 1,2 | 9,567,429 | 0 | 0 | |
TEGNA INC | COM | 87901J105 | 141 | 12,417 | SH | DFND | 1,2 | 12,417 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 589 | 27,350 | SH | DFND | 1,2 | 27,350 | 0 | 0 | |
TEMPLETON DRAGON FD INC | COM | 88018T101 | 355 | 15,972 | SH | DFND | 1,2 | 15,972 | 0 | 0 | |
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 54 | 17,729 | SH | DFND | 1,2 | 17,729 | 0 | 0 | |
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 757 | 75,000 | SH | DFND | 1,2 | 75,000 | 0 | 0 | |
TOWN SPORTS INTL HLDGS INC | COM | 89214A102 | 86 | 11,353 | SH | DFND | 1,2 | 11,353 | 0 | 0 | |
TRANSENTERIX INC | COM NEW | 89366M201 | 31 | 18,400 | SH | DFND | 1,2 | 18,400 | 0 | 0 | |
TRINITY INDS INC | NOTE 3.875% 6/0 | 896522AF6 | 88,697 | 65,232,000 | PRN | DFND | 1,2 | 0 | 0 | 0 | |
TWO HBRS INVT CORP | COM NEW | 90187B408 | 173 | 11,247 | SH | DFND | 1,2 | 11,247 | 0 | 0 | |
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 10,035 | 1,025,000 | SH | DFND | 1,2 | 1,025,000 | 0 | 0 | |
VERASTEM INC | COM | 92337C104 | 94 | 31,551 | SH | DFND | 1,2 | 31,551 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 621 | 3,808 | SH | DFND | 1,2 | 3,808 | 0 | 0 | |
VIDEOCON D2H LTD | ADR | 92657J101 | 10,360 | 1,263,389 | SH | DFND | 1,2 | 1,263,389 | 0 | 0 | |
VIRNETX HLDG CORP | COM | 92823T108 | 109 | 27,569 | SH | DFND | 1,2 | 27,569 | 0 | 0 | |
VOYA INFRASTRUCTURE INDLS & | COM | 92912X101 | 213 | 14,019 | SH | DFND | 1,2 | 14,019 | 0 | 0 | |
WASHINGTON PRIME GROUP NEW | COM | 93964W108 | 153 | 22,866 | SH | DFND | 1,2 | 22,866 | 0 | 0 | |
WENDYS CO | COM | 95058W100 | 183 | 10,407 | SH | DFND | 1,2 | 10,407 | 0 | 0 | |
WESTERN ASSET EMRG MKT DEBT | COM | 95766A101 | 219 | 15,078 | SH | DFND | 1,2 | 15,078 | 0 | 0 | |
WESTERN ASSET CLYM INFL SEC | COM SH BEN INT | 95766Q106 | 115 | 10,000 | SH | DFND | 1,2 | 10,000 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 2,394 | 50,000 | SH | DFND | 1,2 | 50,000 | 0 | 0 | |
ASSURED GUARANTY LTD | COM | G0585R106 | 365 | 10,081 | SH | DFND | 1,2 | 10,081 | 0 | 0 | |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 5,375 | 538,000 | SH | DFND | 1,2 | 538,000 | 0 | 0 | |
BANK OF NT BUTTERFIELD&SON L | SHS NEW | G0772R208 | 660 | 15,000 | SH | DFND | 1,2 | 15,000 | 0 | 0 | |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 4,722 | 475,000 | SH | DFND | 1,2 | 475,000 | 0 | 0 | |
BRIGHTSPHERE INVESTMNT GRP P | SHS | G1644T109 | 3,940 | 250,000 | SH | DFND | 1,2 | 250,000 | 0 | 0 | |
CAPITOL INVT CORP IV | CL A ORD | G18920101 | 4,508 | 464,274 | SH | DFND | 1,2 | 464,274 | 0 | 0 | |
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 21,754 | 2,233,456 | SH | DFND | 1,2 | 2,233,456 | 0 | 0 | |
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 7,236 | 733,085 | SH | DFND | 1,2 | 733,085 | 0 | 0 | |
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 8,842 | 851,819 | SH | DFND | 1 | 851,819 | 0 | 0 | |
GOLDEN OCEAN GROUP LTD | SHS NEW | G39637205 | 83 | 10,467 | SH | DFND | 1,2 | 10,467 | 0 | 0 | |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 10,484 | 1,053,678 | SH | DFND | 1,2 | 1,053,678 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 155 | 10,684 | SH | DFND | 1,2 | 10,684 | 0 | 0 | |
MOSAIC ACQUISITION CORP | SHS CL A | G62848109 | 1,470 | 150,000 | SH | DFND | 1,2 | 150,000 | 0 | 0 | |
NATIONAL ENERGY SERVICES REU | SHS | G6375R107 | 5,157 | 519,302 | SH | DFND | 1 | 519,302 | 0 | 0 | |
MYOVANT SCIENCES LTD | COM | G637AM102 | 203 | 9,552 | SH | DFND | 1,2 | 9,552 | 0 | 0 | |
ONE MADISON CORP | COM CL A | G6772P100 | 2,016 | 210,000 | SH | DFND | 1,2 | 210,000 | 0 | 0 | |
PLATINUM EAGLE ACQUISITIN CO | UNIT 01/09/2023 | G7126L126 | 497 | 49,000 | SH | DFND | 1,2 | 49,000 | 0 | 0 | |
REGALWOOD GLOBAL ENERGY LTD | COM CL A | G74760102 | 5,996 | 618,100 | SH | DFND | 1,2 | 618,100 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | COM CL A | G8062D102 | 3,599 | 371,000 | SH | DFND | 1,2 | 371,000 | 0 | 0 | |
SENTINEL ENERGY SVCS INC | UNIT 11/02/2022 | G8062D128 | 184 | 18,544 | SH | DFND | 1,2 | 18,544 | 0 | 0 | |
TPG PACE HLDGS CORP | UNIT 99/99/9999 | G89827102 | 667 | 63,846 | SH | DFND | 1,2 | 63,846 | 0 | 0 | |
TPG PACE HLDGS CORP | CL A | G89827128 | 245 | 25,000 | SH | DFND | 1,2 | 25,000 | 0 | 0 | |
UNION ACQUISITION CORP | SHS | G9366W101 | 12,813 | 1,337,500 | SH | DFND | 1,2 | 1,337,500 | 0 | 0 | |
SAFE BULKERS INC | COM | Y7388L103 | 47 | 14,825 | SH | DFND | 1,2 | 14,825 | 0 | 0 |